Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Answer true or false.

1. True or false. Broker-dealers are permitted to use customer testimonials in their advertisements.

2. True or false. Investment adviser representatives can never use references or past recommendations as part of their advertising efforts.

3. True or false. Graphs and charts are prohibited from advertisements for investment advisers and investment adviser representatives.

4. True or false. Broker-dealers operating within a bank setting should always offer their services in an area distinct from where regular banking activity takes place.

5. True or false. As long as an agent selling shares of a mutual fund delivers a final prospectus before a given sales date, full disclosure has been provided.

Answers

1. True. Broker-dealers may use customer testimonials; investment advi

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